Scott E. Riskin
Professional summary
Scott E Riskin, who also goes by Scott Evan Riskin, Scott Riskin, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1993. Scott has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott E Riskin's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 13, 2026 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017June 21, 2023 - December 19, 2025
OPPENHEIMER & CO. INC.
October 17, 2013 - July 10, 2023
MORGAN STANLEY & CO. LLC
March 3, 2008 - October 14, 2013
GOLDMAN SACHS & CO. LLC
October 2, 2006 - March 17, 2008
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 27, 2001 - October 25, 2006
GOLDMAN SACHS & CO. LLC
May 11, 2000 - March 27, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
April 13, 1993 - May 12, 2000
SANFORD C. BERNSTEIN & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/11/2026)
(1/26/2026)
(1/15/2026)
(1/15/2026)
(1/15/2026)
(1/13/2026)
(1/15/2026)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/21/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 11/24/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Investors' Exchange LLC
Nasdaq Stock Market
Current Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| SIRNA, KRISTINE M | CHIEF OPERATIONS PRINCIPAL & PRINCIPAL OPERATIONS OFFICER | 5971785 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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